Feedback Form

Client Satisfaction Survey

In orderto meetyourinvestment needs and to enhance thequality and effectiveness of our products and services,
wehaveintegratedthe use of a survey into our practice. This brief survey allows us to gain insight into the strengths
of our practice, as well as to pinpoint areas for improvement. Our goal is to continue to offer you the best possible
product selectionand the highest levels of customerservice. As our valued client, we since rely appreciate you
taking a few minutes to complete this survey.

Overall Satisfaction

1. How would you rate the following aspects of our practice?

f

Ability to meet your financial needs and objectives

Excellent

Good

Adequate

Poor

NA

Quality of our investment products and services

Excellent

Good

Adequate

Poor

NA

Level of our customer service

Excellent

Good

Adequate

Poor

NA

Ability to communicate clearly and effectively

Excellent

Good

Adequate

Poor

NA

Professionalism of our staff m em bers

Excellent

Good

Adequate

Poor

NA

J

Financial Needs

2. How would you rate our effectiveness in meeting yourfinancial needs and goals?

Taking the time to understand your financial needs

Excellent

Good

Adequate

Poor

NA

Evaluating your risk tolerance, investment time horizon and
other investment concerns

Excellent

Good

Adequate

Poor

NA

Working with you to set appropriate financial goals

Excellent

Good

Adequate

Poor

NA

Providing you with products and services that meet your
needs and can help you achieve your goals

Excellent

Good

Adequate

Poor

NA

.j

3. What are the most challenging financial concerns you currently face and how well are we
addressing them?

4. Are there financial concerns, issues or eventsthat we have not yet addressed?

□ Yes □ No If yes, what are they and how can we help?

Investments

5. How would you rate your satisfaction with the investments recommended by our practice?

Performance of your investments

Excellent

Good

Adequate

Poor

NA

Level of risk associated with your investments

Excellent

Good

Adequate

Poor

NA

Understanding of the investments you own

Excellent

Good

Adequate

Poor

NA

Effectiveness of the features or benefits offered
in your investm ent

Excellent

Good

Adequate

Poor

NA

6. Which investments in your portfolio have met or exceeded your expectations?

7. Are there any investments in your portfolio with which you are unhappy?

□ Yes □ No If yes, what are they and why are you not satisfied?

9. How frequently would you like to be contacted by our practice?

□ Monthly □ Quarterly □ Semiannually □ Annually

10. With what method would you prefer that we com municate with you?

□ Phone □Email □ Face-to-face DOther: _

Staff

11. How would you rate the quality of service of our staff?

r

General courtesy of staff m em bers

Excellent

Good

Adequate

Poor

NA

General staff knowledge

Excellent

Good

Adequate

Poor

NA

Proper phone etiquette

Excellent

Good

Adequate

Poor

NA

Promptness in dealing with any issues or concerns

Excellent

Good

Adequate

Poor

NA

Ability to handle questions or requests

Excellent

Good

Adequate

Poor

NA

Overall service rating

Excellent

Good

Adequate

Poor

NA

J

Closing Comments

12. Based on our performance, how likely is it that you will refer our practice to family and friends?

□ Certain □ Very likely □ Somewhat likely □ Unlikely □ Will not refer

13. We would appreciate any additional suggestions regarding how we could improve our products
and services. Thank you again for your time